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  4. 2 August 2021

    Retail Investor Platforms Research

    The objectives of the research were to understand the type of profile of investors in retail platforms; their risks and behaviours within these platforms and motivations and influences that brought them to where they are. The research was conducted by Colmar Brunton in July 2021
    Tags
    Business, FMA
    Type
    PDF, Research

  5. 10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors.
    Tags
    Offer disclosure for equity and debt offers, Disclose register, Roles, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer information, Reports and Papers, Business, Managed investment schemes, News & Insights
    Type
    Page

  6. 1 October 2014

    Reporting duties under Part 4 of the FMC Act Information Sheet and Table

    This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    Tags
    Auditors, Roles, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  7. 30 November 2014

    Financial regulation and registration requirements for marinas information sheet

    The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register. Published November 2014.
    Tags
    Roles, Offer information, Business, Supervisor
    Type
    PDF, Information Sheet, Guidance

  8. 1 November 2014

    FMA consent to governing document amendments under FMC Act Information sheet

    This information sheet enables debt issuers and MIS managers to amend a governing document with FMA consent where those changes are necessary or desirable for ensuring compliance with the FMC Act. It is an alternative way for the issuer/manager to amend governing documents rather than making amendments under the governing document’s own amendment provisions (which may otherwise require investor consent).
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes
    Type
    PDF, Information Sheet

  9. 24 February 2015

    Reporting SIPO limit breaks Information sheet

    This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  11. 25 February 2016

    PIR Returns information sheet

    This information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  12. 26 June 2015

    DIMS providers Calculation of returns for information sheet

    This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    PDF, Information Sheet

  13. 25 February 2016

    Performance Fee Disclosure information sheet

    This information sheet outlines how we expect fund managers to disclose performance-based fees to investors.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  14. 23 June 2023

    Submission form Proposed guidance for keeping proper CRD records

    Submission form for response to the Consultation - Proposed guidance for keeping proper CRD records
    Tags
    Authorised body under a FAP, Banking, Consultations, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes
    Type
    Word document, Submission form

  15. 14 March 2023

    Feedback form Foreign listed issuers climate reporting exemptions

    Feedback form for those who wish to respond to the FMA Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties.
    Tags
    Consultations, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Word document, Feedback form